Information Notice 06/18/24
FINRA is advising member firms that the Options Clearing Corporation has issued the June 2024 Options Disclosure Document (ODD). The ODD contains general disclosures on the characteristics and risks of trading standardized options. The June 2024 ODD contains new language to update (i) the list of options markets to include MEMX, LLC and (ii) settlement information to reflect T+1 settlement.
2023079718001 Scott Mullady CRD 2190133 AWC gg.pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2023079718001
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Scott Mullady (Respondent)
General Securities Representative
General Securities Principal
CRD No. 2190133
Pursuant to FINRA Rule 9216, Respondent Scott Mullady submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.
2023080473501 Kurt A. Berry CRD 4550773 AWC lp.pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2023080473501
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Kurt A. Berry (Respondent)
Fonner General Securities Representative
CRD No. 4SS0773
Pursuant to FINRA Rule 9216, Respondent Kurt A. Deny submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.